The Compliance Analyst supports the asset management firms compliance program by monitoring and ensuring adherence to regulatory requirements, internal policies, and industry standards. This role involves risk assessment, reporting, and liaising with regulatory bodies to uphold the firms compliance integrity.
Key Responsibilities: - Conduct ongoing monitoring of investment activities to ensure compliance with relevant regulations and internal policies.
- Review and analyze client transactions, trade approvals, and portfolio activities.
- Assist in the development, implementation, and maintenance of compliance policies and procedures.
- Prepare and submit regulatory reports accurately and timely.
- Conduct compliance training sessions and promote a strong compliance culture within the organization.
- Maintain up-to-date knowledge of regulatory changes in the asset management industry.
- Support internal audits and examinations related to compliance.
- Document compliance issues and prepare detailed reports for management.
Qualifications: - Bachelors degree in Finance, Law, Business, or related field.
- 2+ years of experience in compliance, risk management, or related roles within asset management or financial services.
- Strong understanding of securities laws, regulations, and industry standards.
- Familiarity with compliance monitoring tools and regulatory reporting systems.
- Excellent analytical, communication, and organizational skills.
- Attention to detail and ability to work under tight deadlines.
Preferred Skills: - Professional certifications (e.g., CAMS, CFIRS, or CFA) are a plus.
- Knowledge of global regulatory frameworks such as SEC, FCA, or EMEA regulations.
- Proficiency in MS Office Suite and compliance software.